Retention and Disposition of Official State-operated Campus and SUNY Records

In accordance with Section 57.05 of the NYS Arts and Cultural Affairs Law, official
records of the state-operated campuses of the State University of New York and SUNY
System Administration must be retained and may not be destroyed unless pursuant to
applicable records retention schedules. For SUNY-specific records (for example, student
records and hospital records), campuses shall adhere to the SUNY Records Retention
and Disposition Schedule (SUNY Schedule) (see Appendices section). For records not
covered by the SUNY Schedule and which involve common types of State agency records
(for example, financial, personnel, technology), campuses must adhere to the General
Retention and Disposition Schedule for New York State Government Records (State Schedule).

The SUNY Schedule dictates minimum retention requirements. Campuses wishing to establish
retention schedules with shorter retention periods must seek approval of the State
Archives through the SUNY Records Management Officer.

Periodically, campuses or the System Administration may decide to replace official
records in paper with electronic or digital copies. Most records in the SUNY Schedule
have been pre-authorized for replacement in the SUNY Records Retention Schedule such
that paper records which have been scanned or otherwise converted may be destroyed
prior to the end of their retention period. If not pre-authorized, replacement and
destruction of paper records can occur only upon approval by State Archives. Such
approval requests shall be made by the SUNY Records Management Officer upon request
of the campus concerned. Campuses intending to replace paper records with electronic
or imaged copies are required to ensure that:

(1) the images will accurately and completely reproduce all the information in
the records being imaged;

(2) the imaged records will not be rendered unusable due to changing or proprietary
technology before their retention and preservation requirements are met;

(3) the imaging system will not permit additions, deletions, or changes to the
images without leaving a record of such additions, deletions, or changes; and

(4) designees of the State University of New York will be able to authenticate
the imaged records by competent testimony or affidavit which shall include the manner
or method by which tampering or degradation of the reproduction is prevented.

Campuses shall utilize appropriate means to ensure compliance with the applicable
schedules and retention periods. Records that have reached the end of their retention
period shall be destroyed by appropriate means depending on the contents and nature
of the records giving due consideration to the confidentiality of the information
contained therein. Notification that the records are subject to a litigation hold
or are otherwise relevant to a legal action or audit shall result in suspension of
routine destruction activities until the records are no longer needed as determined
by University Counsel.

Records Management

SUNY’s Records Management Officer (RMO) is currently the Director of Compliance.
Each campus should designate a local records management officer and notify the SUNY
RMO of such designation. It is the responsibility of the campus RMO to report annually,
by September 1 of each year, to the SUNY RMO on disposition actions taken by such
campus during the previous academic year and to maintain the campus inventory of records.
Requests for approval of retention schedules with shorter retention periods should
be submitted by a campus through their local RMO to the SUNY RMO for transmittal to
State Archives.

Community College Records

Records maintained by the Community Colleges operating under the program of the State
University of New York are governed by one of two schedules established by State Archives.
MI-1
schedule (for all miscellaneous governments) is to be followed by Adirondack, Columbia-Greene,
Corning, Fulton-Montgomery, Jamestown, North Country and Tompkins-Cortland Community
Colleges and the Fashion Institute of Technology. CO-2 schedule (for county governments) should be followed by all
other Community Colleges.

Archival and Historical Records

In order to preserve records of historical and archival value, certain categories
of records are to be retained permanently. Among these are Presidents’ annual
reports, minutes of campus councils, governance organization minutes or handbooks,
inaugural or commencement records and important documents generated by or for the
campuses such as strategic plans, accreditation reports, etc. Campuses should adhere
carefully to the schedules for such records, retain them in a safe place and ensure
their preservation when they are no longer needed on a daily basis.

Definitions

In support of this policy, the following definitions are included:

Records - all books, papers, microforms, computer-readable tapes,
discs or other media, maps, photographs, film, video and sound recordings, or other
documentary materials, regardless of physical form or characteristics, made or received
by State University of New York or its campuses in pursuance of law or in connection
with the transaction of University business and retained by the University as evidence
of the organization, functions, policies, decisions, procedures, operations, or other
activities. Library or museum materials made or acquired and preserved solely for
reference or exhibition purposes, extra copies of documents preserved only for convenience
of reference, and stocks of publications and of blank forms shall not be deemed to
constitute records.

MI-1
schedule (for all miscellaneous governments) is to be followed by Adirondack, Columbia-Greene,
Corning, Fulton-Montgomery, Jamestown, North Country and Tompkins-Cortland Community
Colleges and the Fashion Institute of Technology.

CO-2
schedule (for county governments) should be followed by all other Community Colleges.

Forms

Where applicable, this section contains links and/or references to forms as they
relate to this policy: